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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Non-qualified stock option (right to buy) | $ 3.52 | 06/13/2011 | A | 10,000 | (1) | 06/12/2021 | Common Stock | 10,000 | (2) | 10,000 | D | ||||
Non-qualified stock option (right to buy) | $ 10.19 | (3) | 10/21/2014 | Common Stock | 10,000 | 10,000 | D | ||||||||
Non-qualified stock option (right to buy) | $ 8.5 | (4) | 06/28/2012 | Common Stock | 10,000 | 10,000 | D | ||||||||
Non-qualified stock option (right to buy) | $ 7.667 | (5) | 04/24/2013 | Common Stock | 10,000 | 10,000 | D | ||||||||
Non-qualified stock option (right to buy) | $ 7.348 | (6) | 06/28/2014 | Common Stock | 10,000 | 10,000 | D | ||||||||
Non-qualified stock option (right to buy) | $ 7.953 | (7) | 08/30/2015 | Common Stock | 10,000 | 10,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Dunn Alan G 1185 LINDA VISTA DR. SAN MARCOS, CA 92078 |
X |
/s/ Ken Wolf on behalf of Mr. Dunn under a Power of Attorney | 06/15/2011 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The securities vest 34% on June 13, 2012 and an additional 33% on June 13, 2013 and 2014. |
(2) | This transaction represents a grant of a stock option pursuant to the Company's 2009 Omnibus Incentive Plan. |
(3) | The securities vested on April 27, 2005. |
(4) | The securities vested 34% on June 29, 2008 and an additional 33% on June 29, 2009 and 2010. |
(5) | The securities vested 34% on April 25, 2009 and an additional 33% on April 25, 2010 and 2011. |
(6) | The securities vested 34% on June 29, 2010 and vest an additional 33% on June 29, 2011 and 2012. |
(7) | The securities vest 34% on August 31, 2011 and an additional 33% on August 31, 2012 and 2013. |